Regulatory Compliance and Corporate Governance Practice Group Print

Regulatory Compliance

Overview

  • Advising clients on compliance requirements of the Securities & Futures Act (SFA) and Financial Advisers Act (FAA)
  • Assisting clients in their application for required licences and / or exemptions under the SFA and FAA
  • Advising on regulatory filings with Monetary Authority of Singapore (MAS) with respect to the SFA and FAA

Experience

  • Assisted foreign and local fund managers and financial advisers in the application of necessary licences and / or exemptions from the MAS in order for them to carry on business in Singapore.
  •  Corporate GovernanceOverview
  • Advising the Board of Directors and management in legal issues concerning due compliance with corporate governance matters, Listing Manual and Companies Act compliance requirements, requirements regarding circulars to shareholders and other shareholder matters.
  • Advising corporations on the management and resolution of potential disputes involving directors, officers and minority shareholders, and in respect of regulatory prosecutions or other actions.
  • Reviewing and advising listed companies on their corporate governance practices. 
  • Providing training to directors and key officers of listed companies on their legal duties and liabilities with regard to corporate governance and securities regulations. 
  • Assisting Board of Directors and management in the preparation of corporate policies for corporate governance and whistle-blowing

Corporate Governance

Experience

  • Advised management of listed companies on compliance with general laws, securities regulations and listing obligations.
  • Advised directors of listed companies on their legal obligations, rights and liabilities in situations of disputes both within a board and as against other entities.
  • Advised clients on legal obligations, rights, liabilities and due processes in relation to corporate governance matters.
  • Advised audit committees and the Board of Directors of listed companies on  whistle-blowing matters.
  • Conducted various training programmes (both in English and Mandarin) for the Board of Directors and key officers of listed companies.
  • Team members have co-authored a 2006 publication by Sweet and Maxwell Asia entitled “Corporate Governance of Listed Companies in Singapore.

Our Clientele

Our clientele includes companies listed on both the Mainboard and Catalist of the Singapore Stock Exchange, individual directors and boards of listed companies, leading private equity firms, financial institutions, investment banks and firms across banking, insurance, securities and financial sectors.

Contact Persons

 

© 2012 KhattarWong LLP All Rights Reserved
KhattarWong LLP (UEN/Registration no. T12LL0001E) was converted from a partnership (under the name KhattarWong) to a limited liability partnership
and is registered in Singapore under the Limited Liability Partnerships Act (Chapter 163A) with effect from 1 January 2012.